How to Conduct Effective Internal Investigations: Your Thorough Guide in 2017
An internal investigation can be an effective tool for determining the grounds and circumstances surrounding an allegation of corporate misconduct. Internal investigations assist companies in making sound decisions on matters that include "insider threats" and other alleged company rule violations. The way a company deals with internal threats, and the way it conducts internal investigations, may even affect how governmental agencies, such as the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC), perceive the company.
In a two-hour LIVE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss the significant and latest issues surrounding corporate internal investigations. They will provide an in-depth discussion of the issues that arise when conducting these investigations.
Key issues that will be covered in this course are:
- Is there even a need for an investigation?
- Choosing the right investigator.
- Timing of investigations.
- Upjohn warnings.
- Managing relationships during internal investigations.
- Risks involved in aggressive interview tactics.
- Attorney-client privilege with respect to investigations.
- Confidentiality in investigations.
- Employee privacy pitfalls.
- Preserving evidence during/after an investigation.
- Communicating results of investigations.
- Draft conclusions and documentation for investigations.
- Legal EU (data privacy) requirements for investigations.
- Changes by General Data Protection Regulation.
- Legal consequences for unlawful data collection.
- Proposals for effective and privacy ensuring investigations.
Love Law Firm, PLLC
Akin Gump Strauss Hauer & Feld LLP
- Is there even a need for an investigation? (Francine)
- Choosing the right investigator (Helen)
- Timing of investigations (Helen)
- Upjohn Warnings at Interviews (Elizabeth)
- Managing Relationships During Internal Investigations (Elizabeth)
- Risks Involved in Aggressive Interview Tactics (Elizabeth)
- Attorney-Client Privilege With Respect to Investigations (Elizabeth)
- Confidentiality in investigations (Helen)
- Beware of employee privacy pitfalls (Francine)
- Preserving evidence during/after an investigation (Francine)
- Communicating results of investigations (Helen)
- Keep documentation and draft conclusions contained therein carefully (Francine)
- Legal EU (data privacy) requirements for investigations (Hendrik)
- Changes by General Data Protection Regulation (Hendrik)
- Legal consequences for unlawful data collection (Hendrik)
- Proposals for effective and privacy ensuring investigations (Hendrik)
Who Should Attend:
- C Level Executives
- Top Level Management
- In-house Counsel
- Compliance and Ethics Managers
- Compliance Officers
- Private Companies
- Other Interested Professionals
Francine E. Love brings a lifetime of boardroom and C-suite experience to her clients. As adept at counseling the leaders of industry as the fledgling entrepreneurs, Francine brings a diverse background to respond to the needs of her clients.
With over twenty years’ experience handling matters as divergent as commercial transactions, intellectual property, management-side employment law, privacy, cyber-security, risk management, litigation management, corporate governance and formation, Francine is uniquely positioned to be the outside general counsel to enterprises large and small. She brings real-world, high-quality and business-focused legal solutions to businesses seeking her counsel.
Clients routinely describe Francine as “creative”, “diligent”, “responsive” and “insightful.” They rely on her not only for her legal expertise, but her sound grounding in business realities that help them not only avoid legal problems but save them time and money.
In her spare time, Francine is a compassionate advocate for children. Her law firm has sponsored events for infants in the special care unit of a hospital, providing necessities for children in foster care in 2016 and organizing a major book drive for a children’s center in 2017.
Francine graduated cum laude from Smith College and received her Juris Doctorate from Benjamin N. Cardozo School of Law.
Francine E. Love brings a lifetime of boardroom and C-suite experience to her clients. As adept at counseling the leaders …
Helen M. McFarland focuses her practice on employment litigation and counseling for a broad range of California and Washington employers, professionals, insurers and businesses. She advises clients on the entire gamut of employment issues, including hiring and firing employees, avoiding harassment and discrimination claims, responding to leave requests, accommodating disabilities or claimed disabilities, ensuring wage and hour compliance, handling grievances and investigations, and drafting employee handbooks, agreements, and other employment policies. Helen also trains supervisors and other Human Resources professionals in best practices.
Helen M. McFarland focuses her practice on employment litigation and counseling for a broad range of California and Washington employers, …
Elizabeth D. Scott’s practice focuses on complex civil litigation matters, with an emphasis on defending lawsuits filed under the False Claims Act (FCA) and representing public companies and their officers and directors in responding to governmental investigations and enforcement proceedings and conducting internal investigations. Ms. Scott has experience representing clients in both federal and state FCA proceedings and has handled every aspect of an FCA case, including serving as a member of the trial team for federal jury trials and successfully defending FCA dismissals on appeal. Prior to joining Akin Gump, Ms. Scott served as a law clerk for the Honorable Leslie H. Southwick of the United States Court of Appeals for the 5th Circuit from 2008-2009 and for the Honorable Daniel P. Jordan III of the United States District Court for the Southern District of Mississippi from 2007-2008.
Elizabeth D. Scott’s practice focuses on complex civil litigation matters, with an emphasis on defending lawsuits filed under the False …
Hendrik works in the data protection practice in the Frankfurt office of Melchers, Germany and is mainly advising on a national as well as on an international level in IT-/IP and data protection matters . He worked for three years in the Interdisciplinary Research Center for Information System Design (ITeG) at the University of Kassel, Germany assisting several projects concerning legal issues arising in the field of information and communication technology. He received his Doctorate of Laws with a thesis of data protection law according to Smart Homes and publishes and lectures regularly in data protection matters.
Hendrik works in the data protection practice in the Frankfurt office of Melchers, Germany and is mainly advising on a …
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Method of Presentation:
Experience in corporate law
NASBA Field of Study:
Business Management & Organization - Non-Technical
NY Category of CLE Credit:
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About Love Law Firm, PLLC
Love Law Firm, PLLC stands out in a crowded field: a firm focused on the needs of business, bringing targeted, real-world legal counsel to its clients. Love Law Firm was founded on the principle that all businesses – from sole proprietors to the mega-corporations – deserve the counsel and guidance of seasoned legal professionals who know and care about its business. Love Law Firm represents clients from Manhattan to Suffolk County, in a range of industries, sizes, and stages of existence.
About Cozen O'Connor
Ranked among the top 100 law firms in the country, Cozen O’Connor has more than 600 attorneys in 23 cities across two continents. We are a full-service firm with nationally recognized practices in labor and employment, litigation, business law, and government relations, and our attorneys have experience operating in all sectors of the economy. Our diverse client list includes global Fortune 500 companies, middle-market firms poised for growth, ambitious startups, and high-profile individuals.
About Akin Gump Strauss Hauer & Feld LLP
Akin Gump Strauss Hauer & Feld LLP is a leading global law firm providing innovative legal services and business solutions to individuals and institutions. Our global investigations and compliance practice brings together firm lawyers who have deep substantive experience in specific industry sectors, and lawyers with proven track records of leading important investigations both in private practice and in government service on behalf of prosecutors’ offices, regulatory agencies and legislative committees. Our nuanced understanding both of our clients’ businesses and the legal environment in which our clients operate enables us to partner with them to design front-end compliance programs that meet business and legal objectives. However, in those instances where compliance efforts fail to forestall a problem, our experienced team draws on its extensive knowledge of the kind of internal reviews that government officials will demand as we ferret out facts before government agencies come knocking or, alternatively, help clients navigate the often conflicting requirements of government entities after regulators become aware of problems. Our global investigations and compliance practice is international in scope and includes lawyers in both our firm’s national and international offices. Given the breadth of our experience, we are situated to represent the interests of our clients in the full range of investigative proceedings that have become increasingly common in today’s global economy, and we regularly work with our clients’ in-house and outside advisors to address the marketplace concerns that often arise during such investigations.
Melchers is a medium sized German law firm with 40+ lawyers working in offices in Berlin, Frankfurt am Main and Heidelberg. Apart from the legal services related to corporate, employment and distribution/sales matters and its work for a German premier league soccer club, Melchers has an industry focus on the construction-, gambling-, insurance-, retail- and Software/IT-industry. Melchers is the German member of the “International Alliance of Law Firms” and “Transatlantic Law”, by which Melchers frequently handles international/transnational projects, both for domestic as well as foreign clients.